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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Restricted Stock Units | (1) | 11/05/2015 | D | 59,654 | (2) | (2) | Common Stock | 59,654 | $ 0 | 60,373 (5) | D | ||||
Restricted Stock Units | (1) | 11/05/2015 | D | 29,829 | (3) | (3) | Common Stock | 29,829 | $ 0 | 0 (5) | D | ||||
Restricted Stock Units | (1) | 11/05/2015 | D | 49,232 | (4) | (4) | Common Stock | 49,232 | $ 0 | 0 (5) | D | ||||
Restricted Stock Units | (1) | 11/05/2015 | A | 59,654 | (2) | (2) | Common Stock | 59,654 | $ 0 | 59,654 (5) | D | ||||
Restricted Stock Units | (1) | 11/05/2015 | A | 29,829 | (3) | (3) | Common Stock | 29,829 | $ 0 | 29,829 (5) | D | ||||
Restricted Stock Units | (1) | 11/05/2015 | A | 49,232 | (4) | (4) | Common Stock | 49,232 | $ 0 | 49,232 (5) | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
HEPPELMANN JAMES E 140 KENDRICK STREET NEEDHAM, MA 02494 |
X | President and CEO |
Catherine Gorecki by power of attorney filed 11/2/2007 | 11/09/2015 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Each restricted stock unit represents a contingent right to one share of PTC Inc. common stock. |
(2) | Represents the deemed cancellation of the outstanding award and a replacement of the award due to the amendment of the award. The award was initially granted on October 1, 2010 and was eligible to vest in three equal annual installments on each of November 15, 2013, 2014 and 2015. The RSUs shown will vest on November 15, 2015. |
(3) | Represents the deemed cancellation of the outstanding award and a replacement of the award due to the amendment of the award. The award was initially granted on November 5, 2012 and was eligible to vest in three equal annual installments on each of November 15, 2013, 2014 and 2015. The RSUs shown will vest on November 15, 2015. |
(4) | Represents the deemed cancellation of the outstanding award and a replacement of the award due to the amendment of the award. The award was initially granted on November 11, 2013 and was eligible to vest in three equal annual installments on each of November 15, 2014, 2015 and 2016. The RSUs shown will vest in two substantially equal increments on November 15, 2015 and 2016. |
(5) | This amount represents the total number of derivative securities beneficially owned of the class shown. |